The Second Chance Act Reentry Program for Adult Offenders with Co- Occurring Substance Abuse and Mental Health Disorders

Transcription

1 The Second Chance Act Reentry Program for Adult Offenders with Co- Occurring Substance Abuse and Mental Health Disorders Planning and Implementation Guide This Planning and Implementation Guide is intended for state, local, or tribal jurisdictions that received a FY 2014 Second Chance Act (SCA) Reentry Program for Adult Offenders with Co- Occurring Substance Abuse and Mental Health Disorders grant (COD Program). Completion of this Planning and Implementation Guide, in partnership with your technical assistance provider assigned by the National Reentry Resource Center (NRRC), is an eligibility requirement set by the Bureau of Justice Assistance (BJA) for jurisdictions to move from the planning phase and receive funds to begin the implementation phase of the grant. For instructions on how to complete and submit the Planning and Implementation Guide, see page 7. If you have any questions about this guide, please direct questions to your technical assistance provider at the NRRC. The Council of State Governments Justice Center prepared this guide with support from the Bureau of Justice Assistance (BJA), U.S. Department of Justice. The contents of this document do not necessarily reflect the official position or policies of the U.S. Department of Justice. 1

2 Table of Contents Introduction... 4 Overview of Grant Support... 4 Overview of the Adult Co- Occurring Reentry Program... 5 How to Use the Planning and Implementation Guide... 7 Phase 1: Planning Section 1: Developing Collaborative Strategies and Establishing your Justice and Treatment Program Team Background and Establishing a Collaborative Work Group Exercise 1: Background Exercise 2: Collaborative Work Group Exercise 3: Engaging Additional Partners Section 2: Incorporating Evidence- Based Principles for Reducing Recidivism and Promoting Recovery into your Program Focal Area 2-1: Using Data to Identify Your Target Population Exercise 4: Analyzing Drivers of Recidivism Exercise 5: Target Population Exercise 6: Screening and Assessment Practices Focal Area 2-2: Shaping your Program Model: Providing Evidence- Based Services Exercise 7: Pre and Post- Release Services Exercise 8: Staff Qualifications Focal Area 2-3: Effective Transition Planning and Post Release Case Management Exercise 9: Assessing the Transition Process Exercise 10: Connections to Healthcare Coverage and Other Benefits Focal Area 2-4: Effective Community Supervision Strategies and Partnerships Exercise 11: Community Supervision Strategies Section 3: Data Collection, Evaluation and Sustainability Focal Area 3-1: Data Collection and Evaluation Exercise 12: Data Collection and Evaluation Focal Area 3-2: Sustainability Exercise 13: Assessing and Planning for Sustainability Phase 2: Implementation Section Four: Ongoing Monitoring and Revision Exercise 14: Measuring Progress through Ongoing Tracking of Action Items Exercise 15: Target Population Review Appendices

3 Your Grant Project at a Glance This is filled out by your National Reentry Resource Center TA Provider (NRRC TA Provider) and confirmed with the grantee on the orientation call. Grantee name and award number: NRRC Technical Assistance Provider: BJA Advisor: Project name: Criminal Justice partner: Substance use partner: Mental health partner: Main points of contact Name: Agency: Name: Agency: Name: Agency: Target population Description: Eligibility criteria Criminogenic risk and needs instrument Types of services to provide (List all provided including both funded and not funded by this grant) Project description (including assessment tools) Collaborations Number of people to serve: Pre- release Post- release Project evaluation plan Please provide the following documents, if available, to your NRRC TA Provider at your earliest convenience: MOUs and information sharing agreements Letters of support Graduated responses decision matrix (if applicable) Current strategic plan Gap/ needs/ capacity analysis Program flow chart 3

4 INTRODUCTION OVERVIEW OF GRANT SUPPORT As a Second Chance Act grantee, you have support from multiple organizations to ensure the success of your grant activities: National Reentry Resource Center Bureau of Justice Assistance CSR, Inc. Bureau of Jus]ce Assistance State Policy Advisor National Reentry Resource Center In 2008, the Second Chance Act (Public Law ) established the National Reentry Resource Center (NRRC). The NRRC is administered by the Bureau of Justice Assistance (BJA), U.S. Department of Justice, and is a project of the Council of State Governments Justice Center. Performance Measurement Tool (PMT), administered by CSR, inc. Second Chance Act grantee Na]onal Reentry Resource Center Technical Assistance Provider The NRRC provides education, training, and technical assistance to states, tribes, territories, local governments, service providers, non- profit organizations, and corrections institutions working on prisoner reentry. The NRRC s mission is to advance the reentry field through knowledge transfer and dissemination and to promote evidence- based best practices. Specifically, the NRRC provides a one- stop, interactive source of current, evidence- based, and user friendly reentry information; individualized, targeted technical assistance for Second Chance Act grantees; and training, distance learning, and knowledge development to support grantees and advance the reentry field. Each Second Chance Act grantee is assigned a NRRC Technical Assistance Provider (NRRC TA Provider) that provides support for completion and review of the Planning and Implementation Guide (P&I Guide) and works with the grantee to identify and execute technical assistance support for successful grant planning and implementation. Please visit the NRRC website to access resources and sign up for the newsletter, which features new resources, available funding options, and highlights of grantee work. We encourage all grantees to subscribe to the NRRC electronic mailing list to get the latest updates in reentry. Visit Bureau of Justice Assistance Each Second Chance Act grantee is assigned a BJA State Policy Advisor. The State Policy Advisors provide information to grantees regarding grant management and budget questions. The Office of Justice Programs has resources available for grantees to help answer questions regarding grant 4

5 management. Please visit Grants 101 and the Financial Guide for additional information. Your BJA State Policy Advisor will be in touch throughout your grant. If at any time you need contact information for your BJA State Policy Advisor, you can ask your NRRC TA Provider. CSR, Inc. CSR, Inc is contracted by the Bureau of Justice Assistance to administer the BJA Performance Measurement Tool (PMT). The PMT is the portal for reporting performance metrics on a quarterly basis. Grantees can access the PMT here and a full list of quarterly performance measures is located here. CSR, Inc provides support to the grantees regarding interpreting reporting questions and other reporting needs. Contact your NRRC TA Provider Any Time You should feel comfortable contacting your NRRC TA Provider with any questions or concerns and he/she will connect you to the right entity to address your need. All of the entities work together to ensure you have the support you need. OVERVIEW OF THE ADULT CO- OCCURRING REENTRY PROGRAM Integrating substance use and co- occurring mental disorder treatment into the criminal justice system is an important component of an effective recidivism reduction strategy. Research supports the cost- effectiveness of substance use and co- occurring mental disorder treatment, especially for people under the supervision of the criminal justice system. 1 Ensuring that individuals with substance use and co- occurring disorders are treated according to evidence- based practices and treatment modalities is critical to improving outcomes, maximizing investment, and building support for further expansion of services. 2 In addition, research shows that combining treatment with supervision has a significant impact on reducing recidivism. 3 The primary goal of the Second Chance Act is to reduce recidivism. The Second Chance Act Reentry Program for Adult Offenders with Co- Occurring Substance Abuse and Mental Health Disorders grant (COD Program) funds state, local, and tribal jurisdictions to develop, enhance, and implement effective strategies that promote improved substance use and mental health outcomes and reduce recidivism. The objectives of the grant program are to: Enhance the screening and assessment process for criminogenic needs, substance use and mental health 1 Report of the Re- Entry Policy Council: Charting the Safe and Successful Return of Prisoners to the Community. Council of State Governments. Reentry Policy Council. New York: Council of State Governments. January Id. 3 Evidence- Based Adult Corrections Programs: What Works and What Does Not, Steve Aos, Marna Miller, Elizabeth Drake,

6 Implement, improve and expand the provision of quality treatment to adults with co- occurring substance use and mental health disorders, focusing primarily on post- release programming Reduce the use of alcohol and other drugs during and after the transition from incarceration to community Reduce recidivism among program participants by addressing individual criminogenic needs and implementing evidence- based policies and strategies that focus on people who are medium to high- risk of recidivating The COD Program is composed of two phases: Phase I: Planning Phase II: Implementation Grantees must complete the requirements set by BJA for the planning phase to be eligible for moving into the implementation phase and gaining access to the remainder of grant funds. Phase 1: Planning The COD Program grantees are expected to engage in an assessment and planning process that will strengthen policies and practices that result in an improved continuum of care process, improved substance use and mental health outcomes, and recidivism reduction. The deliverable for this planning phase is a written, comprehensive strategy to increase recovery and reduce recidivism, which is informed by this Planning and Implementation Guide. According to the FY 14 COD Program solicitation, allowable uses of funds during the planning phase include: 1. Continue or commence a strategic plan for the implementation of the Affordable Care Act into program design. 2. Continue establishment of program design elements, including integration of an Integrated Care Model Continue development on Continuum of Care model, examining the jurisdiction s current provision of screening and assessment, pre- release treatment services and post- release programming to ensure that all gaps within the remaining system are filled by strategically targeting grant funds for maximum efficacy. 4. Improve and enhance use of screening and assessment to ensure that the proper individuals are selected for participation in the most appropriate programming to ensure the best outcomes for program participants. 5. Engage in strategic planning to ensure long- term systems change and sustainability for maximum program efficacy. 4 The FY 14 Second Chance Act solicitation describes Continuum of Care as a model that starts with screening and assessment for co- occurring disorders in jails and prisons and ends with post- release treatment within the community. Applicants should examine their systems closely regarding the current provision of screening and assessment, pre- release treatment services and post- release programming to ensure that all gaps within the remaining system are filled by strategically targeting grant funds for maximum efficacy. Applicants should request funds where they are most needed to ensure this continuum of care model with an emphasis on the provision of post- release treatment. 6

7 Phase 2: Implementation COD Program grantees that successfully complete the planning phase of the Planning and Implementation Guide are eligible to receive the remainder of their grant funds to move into the implementation phase. The implementation phase consists of an ongoing assessment process to ensure action items are completed and program adjustments are made according to data analysis. During the implementation phase, jurisdictions will discuss progress towards implementing the program design elements listed in the FY 14 COD Program solicitation: 5 1. Use an Actuarial- Based Assessment Instruments for Treatment and Reentry Planning 2. Target Higher- Risk Offenders 3. Establish Baseline Recidivism Rate and Collect and Report Recidivism Indicator Data 4. Enhance Intrinsic Motivation 5. Target Criminogenic Needs that Affect Recidivism 6. Determine Dosage and Intensity of Services 7. Provide Evidence- Based Substance Abuse and Mental Health Treatment Services 8. Provide Pharmacological Drug Treatment Services (when possible) 9. Use Cognitive- Behavioral Interventions 10. Implement Transition Planning Procedures 11. Support a Comprehensive Range of Recovery Support Services 12. Provide Sustained Aftercare, Case Planning/Management in the Community 13. Provide Community Supervision Services which Follow Evidence- Based Practices 14. Provide Integrated Care HOW TO USE THE PLANNING AND IMPLEMENTATION GUIDE About the Planning and Implementation Guide The Planning and Implementation Guide (P&I Guide) provides an approach to plan an effective reentry strategy for people with co- occurring substance use and mental disorders. It is designed to help you determine the requisite components of an effective reentry strategy and decide how to allocate scarce resources to have the largest recidivism reduction and public health impact. It is also meant to help you review your reentry strategy periodically to track progress and make adjustments as needed to maximize positive outcomes. This guide balances education and resources with exercises that increase your knowledge of the key principles for reducing recidivism and improving public health outcomes. This seeks to allow you to assess areas of success and challenges in implementing these principles. The guide is divided into four sections within the two- phased approach: 5 The FY 14 COD Program solicitation is available here: 7

8 Phase 1: Planning Section One: Developing your collaborative strategies and establishing your justice and treatment program team Section Two: Incorporating evidence- based principles for reducing recidivism and promoting recovery into your program Section Three: Data collection, evaluation, and sustainability Phase 2: Implementation Section Four: Ongoing monitoring and revision The questions and exercises in each section are self- assessment questions based on evidence- based principles of effective reentry and treatment strategies. You will be prompted to write short responses, attach existing documents, or complete exercises for each section. Your answers will provide insight into your program s strengths and identify areas for improvement. As you work through the sections, please pay close attention to the footnotes as they contain suggestions for further reading and provide access to important resources and tools. Successful completion of the planning portion of this guide is mandatory for receiving funds to move into the implementation phase. Instructions 1. Share and review the guide and exercises with all of the members of the group responsible for planning and implementing your program. Key project partners should fill out the guide together; completion of the guide as a group is essential for identifying gaps in service, improvements in process, and strengths. Your team s responses should reflect the thoughtful discussions among your team about the design of your initiative and how your current reentry practices support your recidivism- reduction and treatment goals. Be sure to gather input from staff at all levels involved in your reentry effort from the front line to the executive office. 2. Answer each question in the guide as accurately as possible. No grantee is expected to have fully implemented every one of the elements or principles recommended in the guide, especially at the outset of your grant. This process is meant to be iterative; your responses will change over time as your jurisdiction s needs and resources change. Identifying the areas that indicate opportunities for improvement will help you work with your grant partners and NRRC staff to prioritize your efforts and understand the scope of work to be tackled. Please note that your answers should be brief. This guide is intended to flag issues that may be a potential focus of technical assistance during the duration of the grant. Please use your best judgment when answering. If there is any confusion or you do not know an answer, mark the question and we can revisit it later as part of your technical assistance. If you have challenges that are not addressed by the questions in the guide, please alert your NRRC TA Provider on your monthly calls. 3. Send the completed activities, when indicated by the schedule below to your NRRC TA Provider prior to your monthly calls. 8

9 4. Be prepared to discuss your guide responses according to the schedule below with your NRRC TA Provider. Your NRRC TA Provider will work through the guide with you over the course of your grant and will create a technical assistance plan tailored for your jurisdiction to help you achieve your goals. Grantees will have monthly calls with the NRRC TA Provider focused on discussing the content of the guide. You can always your NRRC TA Provider at any time for assistance and request additional phone calls. The schedule below gives dates for when sections of the guide are due to your NRRC TA Provider - exercises are due prior to the scheduled monthly calls. The schedule is based on a recommended 12- month planning phase. If you desire to complete the guide on a different timeline, you should discuss this with your NRRC TA Provider. Introductory Webinar First Call with NRRC TA Provider P&I Guide Exercises Due to NRRC TA Provider Exercise 1: Background Exercise 2: Collaborative Workgroup Exercise 3: Engaging Additional Partners P&I Guide Exercises Due to NRRC TA Provider Exercise 4: Analyzing Drivers of Recidivism Exercise 5: Target Population P&I Guide Exercises Due to NRRC TA Provider Exercise 6: Screening and Assessment Practices Exercise 7: Pre- Release Case Management Technical Assistance Schedule Activity Due Date Completed (for grantee to mark and keep track) November 2014 P&I Guide Exercises Due to NRRC TA Provider Exercise 8: Pre- and Post- Release Services Exercise 9: Staff Qualifications Exercise 10: Connections to Healthcare and Other Benefits P&I Guide Exercises Due to NRRC TA Provider Exercise 11: Transition Process Exercise 12: Effective Partnerships with Community Supervision P&I Guide Exercises Due to NRRC TA Provider Exercise 13: Assessing and Planning for Sustainability Final review of exercises 1-13 with NRRC TA Provider Send P&I Guide, with exercises 1-13 completed, to BJA and NRRC TA Provider. Upon approval, implementation funds are released by BJA. P&I Guide Exercises Due to NRRC TA Provider: Exercise 14: Assessing and Planning for Sustainability Exercise 15: Target Population Review Final call and feedback survey December 2014 February 2015 March 2015 April 2015 May 2015 June 2015 July 2015 August 2015 September 2015 January, March, June, and September These activities are not sent to BJA. September

10 PHASE I: PLANNING SECTION 1: DEVELOPING COLLABORATIVE STRATEGIES AND ESTABLISHING YOUR JUSTICE AND TREATMENT PROGRAM TEAM BACKGROUND AND ESTABLISHING A COLLABORATIVE WORK GROUP Goal: A planning work group exists that includes members from various relevant agencies and organization, and the group coordinates with the Single State Authority for Substance Abuse and with other federally funded grant programs. This section assesses the following mandatory collaboration requirements: All applicants are required to certify that any treatment program being proposed has been developed in coordination with the Single State Authority for Substance Abuse and the State Mental Health Authority and that the program is clinically- appropriate and will provide comprehensive treatment. BJA also administers the Residential Substance Abuse Treatment (RSAT) for State Prisoners Program, the Justice and Mental Health Collaboration Program, the Second Chance Act Adult Offender Reentry Program for Planning and Demonstration Projects, and the Second Chance Act Family- Based Offender Substance Abuse Treatment Program. According to the grant solicitation, if the applicant jurisdiction is, or becomes, a recipient of funds under any of these other programs for the purposes of provision of treatment and/or reentry services for incarcerated offenders, the applicant should clearly address how these initiatives will be strategically coordinated so as to maximize efficiency, effectiveness and sustainability and avoid duplication. The following section provides guidance on cross- system collaboration and asks a series of questions to help you determine whether you are meeting the solicitation requirements for collaboration and addressing other important cross- systems planning issues. The first exercise focuses on background information regarding the decision to apply for funds and the context for the program within larger jurisdictional efforts. Exercise1: Background The following exercise establishes the history of the grant and areas to concentrate on during the planning phase. Please provide your answers in the Responses column. Questions/ Statements Why did you decide to apply for co- occurring grant funds? What do you hope to concentrate on during the planning period? Please indicate all that apply: Responses Continue or commence a strategic plan for the implementation of the Affordable Care Act into program design. Continue establishment of program design elements, including integration of an Integrated Care Model. Continue development on Continuum of Care model, examining the jurisdiction s current provision of screening and assessment, pre- release treatment services and post- release programming to ensure that all gaps within the remaining system are filled by strategically targeting grant funds for 10

11 Where do you anticipate spending the majority of grant funds? I.e. funding positions, treatment services, etc. What other funding is being utilized or leveraged to support the grant activities? What, if any, coordination or communication regarding the grant is occurring with the Single State Authority for Substance Abuse and/or the State Mental Health Authority? Are you working with a program funded through Residential Substance Abuse Treatment dollars (RSAT)? What is the relationship between this grant and any pre- existing or additional Second Chance Act initiatives in your state/ county/ city? What is the relationship between this grant and any pre- existing criminal justice or substance use and mental disorders recovery initiatives in your state/ county/ city? Has a gap analysis or inventory of existing services and supports been conducted? This pertains to services that program participants can access while incarcerated or upon release. maximum efficacy. Improve and enhance use of screening and assessment to ensure that the proper individuals are selected for participation in the most appropriate programming to ensure the best outcomes for program participants. Engage in strategic planning to ensure long- term systems change and sustainability for maximum program efficacy. Other: This next exercise focuses on the members of your work group and what you hope to achieve together during this grant. Exercise 2: Collaborative Work Group The following exercise establishes the members and roles of the work group. Please provide your answers in the Responses column. Questions/ Statements Please list all members of the collaborative team and what systems, agencies or constituencies they represent. What is the vision for this program? 6 What is the mission? 7 What are the key mutual goals that the team would like to accomplish with the grant? Responses 6 Your vision should be the end result of what you want to accomplish as a result of this grant program. 7 Your mission should clearly articulate your purpose as an organization or grant program. 11

12 Indicate the level of support (buy- in) you feel the leadership within the criminal justice system has for the program. Indicate the level of support (buy- in) you feel the leadership within the local or state behavioral health treatment system has for the program. Do you have the endorsement of your governor, mayor, commissioner or other legislative champion? How will system leaders, champions and community stakeholders be kept informed about the progress of the grant? Are there interagency agreements, memoranda of understanding, contracts or similar documents that define partnerships, policies, and/or information sharing practices? How often will you have collaborative work group meetings? List the collaborative work group meetings you currently have planned. Date of Meeting Phone, in- person Location Planning Person The next exercise focuses on organizations and partners you would like to engage and the outcomes your current partners are hoping to see from this program. Exercise 3: Engaging Additional Partners The following exercise identifies people and organizations that should be involved, but are currently not, in order for the program to succeed. Please provide your answers in the Responses column. Questions/ Statements Which 2-3 organizations are not currently involved in your initiative that you would like to participate? Who is in charge of reaching out to the missing stakeholders? What are the outcomes of interest for each current and potential stakeholder? Stakeholder Ex. Local half- way house Responses Outcome of Interest Ex. Increase housing options What are your current stakeholder engagement strategies? What are your opportunities for sharing program success? For example: task force meeting, judicial meetings, community meetings, school board meetings, faith- based organizations, newsletters, etc

13 SECTION 2: INCORPORATING EVIDENCE- PRINCIPLES FOR REDUCING RECIDIVISM AND PROMOTING RECOVERY INTO YOUR PROGRAM The purpose of this section is to ensure that the right people receive the right interventions for the right length of time and with the right level of community supervision. Individuals returning to the community from prison or jail often have multiple and complex needs. An important component of the COD Program is making available a comprehensive range of interventions that can help meet these needs upon release into the community to reduce recidivism and promote recovery. Understanding what services and resources are available as well as those that are not available can help you anticipate challenges that may arise during the grant when trying to address the range of needs that individuals may have. It will also help ensure that the referral process for various resources is as seamless as possible. The COD Program encourages support for the development and implementation of comprehensive and collaborative strategies that address the challenges posed by reentry to increase public safety and reduce recidivism. Your grant project should provide offenders with co- occurring substance use and mental disorders with appropriate evidence- based services including addressing individual criminogenic needs based on a reentry plan that relies on a criminogenic risk, needs, and behavioral health assessments that reflect the risk of recidivism and needs of that individual. 8 Utilizing reliable research findings, BJA identified fundamental principles of evidence- based correctional practice that are widely accepted as strategies to reduce future criminal behavior and enhance public health outcomes. Your grant project is expected to build upon and strengthen compliance with the required program design elements listed in the FY 14 COD Program solicitation (and on page 7 of this P&I Guide). 9 8 Resource: Guidelines for the Successful Transition of People with Behavioral Health Disorders from Jail and Prison 9 The FY 14 COD Program solicitation is available here. 13

14 Principles of Recidivism Reduction: Risk, Need, Responsivity In recent years, criminal justice and social science researchers have identified specific principles that are proven effective in reducing recidivism. When implemented correctly and consistently, the principles of Risk, Need, and Responsivity will help to decrease the likelihood that an individual will reoffend. 10 These principles, based on decades of study, help policymakers and practitioners make informed decisions on how to use their resources to improve outcomes for a population that is often served by the criminal justice, behavioral health, and other social service systems. Effectively implementing the risk- reduction principles may require fundamental shifts in how correctional authorities and communities interact with individuals returning to the community. A detailed understanding of these principles should inform your work with individuals at all stages, or decision points, throughout the reentry process. When implemented correctly and consistently, the Risk- Need- Responsivity principles will help administrators and practitioners focus their resources where they will have the greatest impact on reducing recidivism and meeting the needs of individuals released from correctional control. These principles are stated below. Risk Principle: Focus supervision and services on the people most likely to commit crimes. Research shows that prioritizing resources for individuals at moderate or high risk for reoffending can lead to a significant reduction in recidivism. Conversely, intensive interventions for low- risk individuals are not an effective use of resources and may even be harmful by exposing them to high- risk individuals. To comply with the risk principle, you need to ensure your assessment tools accurately predict risk of recidivism and that the information What Do We Mean by Risk Assessment? A risk assessment is a comprehensive examination and evaluation of both dynamic (changeable) and static (historical and/or demographic) factors that predicts risk of recidivism and provides guidance on services, placements and supervision, and, in some cases, sentencing. What Do We Mean by Risk of Recidivism or Criminogenic Risk? Risk of recidivism refers to the likelihood that an individual (either formerly incarcerated and/or under supervision of a justice agency) will commit a crime or violate the conditions of his/her supervision. In this context, risk does not refer to the seriousness of crime that a person has committed in the past or will commit in the future. People who have committed a violent or assaultive offense may still be considered at low risk of committing a future crime, for example. Standard assessment tools do not predict an individual s likelihood of committing violent crimes; they only provide information on the likelihood that a person will reoffend in the future. from the tool is used to determine the appropriate services, supervision, and supports for each individual. Traditionally, service providers have prioritized services and treatment for people who volunteer to participate or demonstrate a willingness to participate in services. However, programs that target 10 James Bonta and Don A. Andrews, Risk- Need- Responsivity Model for Offender Assessment and Rehabilitation (Ottawa, Ontario: Public Safety Canada, 2007). 14

15 high- risk individuals have a larger impact on recidivism rates than those programs that target low- risk individuals. An evaluation of Ohio s residential treatment programs confirmed these results. 11 Need Principle: Address an individual s greatest criminogenic needs. Research shows that a person s likelihood to commit a crime or violate the rules and conditions of their supervision can change when you attend What Do We Mean by Criminogenic to their criminogenic needs. This research Needs? indicates that there are eight criminogenic needs that contribute to an individual s risk of Criminogenic needs refer to the recidivating: (1) antisocial attitudes, (2) characteristics or circumstances (such as antisocial beliefs, (3) antisocial friends and antisocial attitudes, beliefs, thinking peers, (4) antisocial personality patterns, (5) patterns, and friends) that research has high- conflict family and intimate shown are associated with criminal relationships, (6) substance use, (7) low levels behavior, but which a person can change. of achievement in school and/or work, and These needs are used to predict risk of (8) unstructured and antisocial leisure time. criminal behavior. Because criminogenic Risk assessments help identify a person s needs are dynamic, risk of recidivism can greatest criminogenic needs so that that the be lowered when these needs are appropriate services can be provided to that adequately addressed. While a person may individual. have many needs, not all of their needs are directly associated with their likelihood of An effective reentry strategy does not ignore committing a crime. other general reentry needs (such as getting a participant clothing, a driver s license, and a place to live). However, it may use referrals and focus fewer resources to meet those needs. It structures services and supports so that these services attend first to participants key criminogenic needs. Responsivity Principle: Address individuals barriers to learning in the design of treatment interventions. 12 The responsivity principle highlights the importance of reducing barriers to learning by addressing learning styles, reading abilities, cognitive impairments, and motivation when designing supervision and service strategies. 13 It can also apply to appropriate programming depending on the severity of psychosocial functioning. 14 Accordingly, the presence of a mental illness, for 11 Latessa, E. Lovins, L.B., Smith, P., Follow- up Evaluation of Ohio s Community Based Correctional Facility and Halfway House Programs Outcome Study, University of Cincinnati Center for Criminal Justice Research, (2010). 12 Andrews, Donald A., Ivan Zinger, Robert D. Hoge, James Bonta, Paul Gendreau, and Francis T. Cullen, Does Correctional Treatment Work? A Psychologically Informed Meta- Analysis, Criminology 28, no. 3 (1990): Andrews, Donald A., Craig Dowden, and Paul Gendreau, Clinically Relevant and Psychologically Informed Approaches to Reduced Reoffending: A Meta- Analytic Study of Human Service, Risk, Need, Responsivity, and Other Concerns in Justice Contexts (unpublished manuscript, 1999). 14 Bonta and Andrews, Risk- Need- Responsivity Model; Andrews, Donald A., James Bonta, and Steve Wormith, The Recent Past and Near Future of Risk and/or Need Assessment, Crime & Delinquency 52, no. 1 (2006): 7 27; Andrews, Donald A., and James Bonta, Rehabilitating Criminal Justice Policy and Practice, Psychology, Public Policy, and Law 16, no. 1 (2010): 39 55; Taxman, Faye S., and Douglas B. Marlowe, Risk, Needs, Responsivity: In Action or Inaction? Crime & Delinquency 52, no. 1 (2006):

16 example, may need to be addressed to accommodate individuals level of processing so they can learn from service providers and comply with the conditions of their supervision or release. There are two types of responsivity: The general responsivity principle refers to the need for interventions that help individuals address dynamic criminogenic risk factors such as antisocial thinking. Research shows that social learning approaches and cognitive behavioral therapies are generally effective in meeting a range of individuals criminogenic needs, regardless of offender type. The use of prosocial modeling and skills development, teaching problem- solving skills, and using a greater degree of positive reinforcement than negative have all been shown to be effective and reflect this approach. 15 The specific responsivity principle conveys that distinct personal needs may need to be addressed to prepare an individual for receiving interventions that can reduce reoffending behaviors and revocations from probation and parole. It is a fine- tuning of the cognitive behavioral intervention. It assesses the strengths, personality, learning style and capacity, motivation, bio- social (gender, culture, ethnicity) characteristics, 16 and behavioral health needs of the individual. One example of applying general responsivity principles is to address an individual s motivation to change, targeting the criminogenic need of antisocial thinking. Research has helped define techniques that are effective in motivating change. For example, Motivational Interviewing (MI) is a client- centered, directive method for enhancing intrinsic motivation to change by exploring and resolving ambivalence. MI is widely recognized as an evidence- based practice (EBP) intervention for alcohol and drug problems and a wide variety of other health problems. 17 Increasingly, criminal justice agencies throughout the country are utilizing MI in addition to other motivational techniques. Furthermore, substance use is an important criminogenic need. Substance use disorders are a significant risk factor for criminal activity both by their direct relationship to crime and risk, and indirectly by the negative effect of addiction on responsivity to interventions. 18 Many corrections- involved individuals with a substance use disorder also have antisocial attitudes, behaviors, and peers; lack employment; and have unstable relationships. The combination of these dynamic criminogenic needs puts them at high risk for committing a criminal act or failing to meet the conditions of their supervision Dowden, Craig, and Donald A. Andrews, The Importance of Staff Practices in Delivering Effective Correctional Treatment: A Meta- Analysis of Core Correctional Practices, International Journal of Offender Therapy and Comparative Criminology 48, no. 2 (2004): Bonta and Andrews, Risk- Need- Responsivity Model. 17 Bogue, B., and Nandi, A., Motivational Interviewing in Corrections: A Comprehensive Guide to Implementing MI in Corrections, National Institute of Corrections (2012). 18 Bennett, Trevor H., Katy Holloway, and David Farrington, The Statistical Association Between Drug Misuse and Crime: A Meta- Analysis, Aggression and Violent Behavior 13, no. 2 (2008): The National Judicial College (2012). Principles of an Effective Criminal Justice Response to the Challenges and Needs of Drug- Involved Individuals. Available here. 16

17 Substance use also has a significant impact on responsivity. Regular, ongoing use of alcohol, prescribed medications, and illegal drugs will produce enduring changes to brain chemistry and function. Brain imaging studies from drug- addicted individuals show physical changes in areas of the brain that are critical to judgment, decision making, learning, and behavior control. 20 These deficits must be taken into consideration as you are planning the design and delivery of treatment interventions and supervision. In addition, mental disorders and developmental delays often cause functional impairments that may significantly affect an individual s responsivity to interventions targeting criminogenic risk factors. For example, a person with a major depressive disorder may not benefit from participating in treatment to reduce antisocial thinking until the symptoms of depression hopelessness, lack of energy, and poor concentration are addressed. Even though mental disorders are not considered a central criminogenic need, case planners must be aware of symptoms or disorders that may impede the individual s ability to adopt new skills. 21 Lastly, because the majority of individuals under correctional control have extensive trauma histories, it is also necessary to incorporate trauma- informed principles in developing interventions. 22 However, targeting noncriminogenic needs should never supplant the focus on criminogenic needs in case planning. Throughout this guide, you will see exercises related to the Risk- Need- Responsivity principles to determine how policies and practices can improve to better reduce recidivism. More information on criminogenic risk instruments and RNR policies is available from your NRRC TA Provider. 23 USING DATA TO IDENTIFY YOUR TARGET POPULATION Goal: Ensure a data- driven analysis of recidivism rates to inform, target, and prioritize programming for people who are high risk with the highest needs for services for optimal recidivism reduction outcomes. This section assesses the following mandatory program design elements: Establish Baseline Recidivism Rate and Collect and Report Recidivism Indicator Data Use Actuarial- Based Assessment Instruments for Treatment and Reentry Planning Target Higher- Risk Offenders 20 National Institute on Drug Abuse, Drugs, Brains and Behavior: The Science of Addiction (Bethesda, MD: National Institute on Drug Abuse, revised 2010). 21 Osher, Fred, MD; D Amora, David, MS; Plotkin, Martha, JD; Jarrett, Nicole, PhD; Eggleston, Alexa, JD, Adults with Behavioral Health Needs under Correctional Supervision: A Shared Framework for Reducing Recidivism and Promoting Recovery, Council of State Governments Justice Center (2012) 22 Covington, Stephanie S. and Barbara Bloom, Gender- Responsive Treatment and Services in Correctional Settings, Women and Therapy 29, no. 3/4 (2006): For information on RNR tools and principles, please see: Sarah L. Desmarais and Jay P. Singh, Risk Assessment Instruments Validated and Implemented in Correctional Settings in the United States (New York: Council of State Governments Justice Center, 2014). content/uploads/2014/07/risk- Assessment- Instruments- Validated- and- Implemented- in- Correctional- Settings- in- the- United- States.pdf. 17

18 Understanding the Drivers of Recidivism for Planning Although an important data point to track, the statewide, countywide, or citywide recidivism rate alone does not provide enough information to guide policy decisions. Corrections agencies need to understand the drivers of the recidivism rate if they want to enact new policies and programs that will reduce recidivism among individuals released from prisons and jails. There are many different factors that influence recidivism rates, but there are some key measures that can help the planning team focus on the primary drivers of that rate and determine whether certain populations are disproportionally contributing to that rate. Jurisdictions that do not have detailed recidivism data can also look at prison or jail admissions (i.e. narrowed down to individuals that have been convicted or incarcerated in the last three years) to better understand the rate at which people are returning to the prison or jail system. Grantees will then want to break down the composition of their recidivism or prison/ jail admission numbers by: New offenses (not under supervision) Parole revocations o Parole revocation - new offense o Parole revocation - technical Probation revocations o Probation revocation - new offense o Probation revocation - technical Individuals level of risk of recidivism Geographic regions (counties, districts, zip codes, etc.) Demographic factors (age, gender, etc.) Behavioral health needs (substance use, mental health status) Using this information, your planning team can be purposeful in deciding what types of interventions, services and policy changes are needed to impact recidivism reduction and recovery. Exercise 4: Analyzing Drivers of Recidivism The following exercise identifies potential drivers of recidivism to focus on during the course of your grant. Please provide your answers in the Responses column. Questions/ Statements Are you tracking participants recidivism rates? What is your definition of recidivism? (Re- arrest, conviction, technical violations, reincarceration, over what period of time, etc.) Describe the steps taken to ensure the tracking system captures an accurate recidivism rate. Are state identification numbers, or a comparable system to track reincarceration, used? Is there to access recidivism data from a state repository, or other source? What is the baseline recidivism rate? 24 Responses 24 The FY 14 SCA Co- occurring solicitation provides additional information on baseline recidivism rates. Your NRRC TA Provider is also available to discuss this in more detail per grantee request. 18

19 Is the baseline recidivism rate for a state or county population, or is it for the target population for this program? How many years are included in your recidivism analysis? Number of new offenses (not on community supervision) Number of parole revocations- new offenses Number of parole revocations- technical violations Number of probation revocations- new offenses Number of probation revocations- technical violations Individuals level of risk of recidivism Mental health need (please also provide your definition of mental health need) Substance use need (please also provide your definition of substance use need) Age (define groupings) Gender Targeting people who are most likely to reoffend and addressing their needs that contribute to criminal offending is an essential component of a recidivism reduction and recovery strategy. 25 The chart below from the Adults with Behavioral Health Needs Under Correctional Supervision: A Shared Framework for Reducing Recidivism and Promoting Recovery 26 provides a conceptual model (the Framework) for how the criminal justice, substance use and mental health systems can identify people to prioritize placement for scarce treatment slots and tailor interventions and supervision according to risk level and need. 25 Please watch the 2014 Justice and Mental Health Collaboration Program Conference plenary given by Dr. Fred Osher on May 13, 2014, Targeting the Right People for the Right Interventions. Available here: jmhcp- sca- conferences/. 26 Adults with Behavioral Health Needs Under Correctional Supervision: A Shared Framework for Reducing Recidivism and Promoting Recovery is available here: health- projects/behavioral- health- framework/ 19

20 Criminogenic Risk and Behavioral Health Needs Framework Although meant as a systems response planning tool, the Framework can also apply to resource allocation and individual case responses. For instance, groups of six, seven and eight are the groups of individuals that should receive priority consideration for collaborative supervision and treatment. Due to their high needs and risk of recidivism, cognitive- based approaches that target criminogenic risk and need factors are appropriate interventions, as well as integrated service models to address co- occurring substance use and mental disorders and intensive supervision. People within groups one, two, three and four would likely not recidivate and would be more appropriate for low intensity supervision and monitoring as well as referrals to community- based services upon release. The data analysis in Exercise 4 and the Framework can help guide your decisions on whom to target with what programming and policies in order to have the biggest impact on recidivism. Please keep your data analysis in mind as you fill out the exercise below on target population. Exercise 5: Target Population The following exercise identifies the target population you want to focus on to achieve the largest reductions possible in recidivism and the participation criteria. Please provide your answers in the Responses column. Questions/ Statements Briefly describe the target population for your program (please include: age, gender, community of focus, facility type, charge or offense history, risk and need criteria, under Responses 20

21 community supervision, probation/parole, etc.) How many people do you plan to serve? How did you decide on this particular target population? What severity of substance use and mental disorders will you serve? What, if any, diagnoses of substance use or co- occurring mental disorders are excluded from the grant initiative s eligibility criteria? What, if any, criminal charges/offenses will be excluded from the grant initiative s eligibility criteria? Is client participation voluntary? What methods do you use for participant recruitment? Does the program prioritize medium to high criminogenic risk individuals for program slots? How? Does the program enroll participants at different criminogenic risk levels? Will the program serve individuals convicted of sex offenses? Screening and assessing people for criminogenic risk, need, and substance use and mental health disorders are the first steps in identifying your target population and ensuring the right people are prioritized for the right types of services. 27 A good screening and assessment process is essential for a risk reduction and recovery strategy. Exercise 6: Screening and Assessment Practices 28 The following exercise identifies the screening and assessment tools used to identify program participants and their needs. Please fill out the chart below. Questions/ Statements Name of tool Year/ generation of tool Validated for your population? (y/n) If yes, when and for which population? Risk- Need- Responsivity Tool 29 Substance Use Screen Mental Disorder Screen Substance Use Assessment Mental Disorder Assessment 27 Resource: Screening and Assessment of Co- occurring Disorders in the Justice System. 28 Flowcharting and doing a walk- through of your system can help identify areas where internal processes hinder the identification of clients. For more information, please refer to the NIATx website: For specific information on flowcharting, please visit here: For information on walk- throughs, please visit here: 29 RNR Tool refers to a criminogenic risk- need- responsivity tool that measures the likelihood of risk of recidivism and criminogenic need. For more information on RNR tools, please visit: assessment- instruments- validated- and- implemented- in- correctional- settings- in- the- united- states/. 21